RICK Risk Flags
Consolidated view of every risk_flag row RICKhas surfaced across DredgeCap's extractor pipeline (auditor changes, late filings, delistings, going-concern, dilution, etc.). Each row carries a verbatim source_excerpt and links to the source SEC filing on EDGAR.
| Category | Severity | Source | Excerpt | EDGAR |
|---|---|---|---|---|
| Late Filing | high | NT 10-Q · May 10, 2019 | Form NT 10-Q filed 2019-05-10 (accession 0001493152-19-006807) notified the SEC of delayed 10-Q filing for period ending 2019-03-31. Substantive filing landed 2019-09-24 (accession 0001493152-19-014493), 132 days after the 2019-05-15 filing… | view ↗ |
| Late Filing | high | NT 10-K · Dec 29, 2005 | Form NT 10-K filed 2005-12-29 (accession 0001140361-05-011535) notified the SEC of delayed 10-K filing for period ending 2005-09-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-Q · May 17, 2005 | Form NT 10-Q filed 2005-05-17 (accession 0001140361-05-003706) notified the SEC of delayed 10-Q filing for period ending 2005-03-31. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-K · Dec 29, 2004 | Form NT 10-K filed 2004-12-29 (accession 0001140361-04-007165) notified the SEC of delayed 10-K filing for period ending 2004-09-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-Q · Aug 14, 2003 | Form NT 10-Q filed 2003-08-14 (accession 0001140361-03-002792) notified the SEC of delayed 10-Q filing for period ending 2003-06-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | high | NT 10-K · Dec 30, 1997 | Form NT 10-K filed 1997-12-30 (accession 0001019056-97-000361) notified the SEC of delayed 10-K filing for period ending 1997-09-30. As of 2026-05-15, no substantive filing has been located within the 90-day window; CIK appears to be in del… | view ↗ |
| Late Filing | medium | NT 10-Q · May 11, 2026 | Form NT 10-Q filed 2026-05-11 (accession 0001628280-26-033479) notified the SEC of delayed 10-Q filing for period ending 2026-05-11. As of 2026-05-15, no substantive filing has yet been located; the 90-day determination window does not expi… | view ↗ |
| Auditor Change | medium | 10-K · Mar 19, 2026 | PCAOB-tagged auditor in 10-K filed 2026-03-19 (accession 0001628280-26-019804) was 'CBIZ CPAs P.C.' (PCAOB Firm ID: 199). Prior 10-K filed 2024-12-16 (accession 0001628280-24-051384) was 'Friedman LLP' (PCAOB Firm ID: 711). | view ↗ |
| Late Filing | medium | NT 10-Q · Feb 9, 2026 | Form NT 10-Q filed 2026-02-09 (accession 0001628280-26-006368) notified the SEC of delayed 10-Q filing for period ending 2026-02-09. Substantive filing landed 2026-05-07 (accession 0001628280-26-032084), 42 days after the 2026-03-26 filing … | view ↗ |
| Late Filing | medium | NT 10-K · Dec 16, 2019 | Form NT 10-K filed 2019-12-16 (accession 0001493152-19-019284) notified the SEC of delayed 10-K filing for period ending 2019-09-30. Substantive filing landed 2020-02-13 (accession 0001493152-20-002216), 46 days after the 2019-12-29 filing … | view ↗ |
| Late Filing | medium | NT 10-Q · Aug 9, 2019 | Form NT 10-Q filed 2019-08-09 (accession 0001493152-19-011998) notified the SEC of delayed 10-Q filing for period ending 2019-06-30. Substantive filing landed 2019-09-24 (accession 0001493152-19-014493), 41 days after the 2019-08-14 filing … | view ↗ |
| Late Filing | medium | NT 10-Q · Feb 9, 2018 | Form NT 10-Q filed 2018-02-09 (accession 0001493152-18-001731) notified the SEC of delayed 10-Q filing for period ending 2017-12-31. Substantive filing landed 2018-03-07 (accession 0001493152-18-003020), 21 days after the 2018-02-14 filing … | view ↗ |
| Late Filing | medium | NT 10-K · Dec 13, 2017 | Form NT 10-K filed 2017-12-13 (accession 0001493152-17-014571) notified the SEC of delayed 10-K filing for period ending 2017-09-30. Substantive filing landed 2018-02-14 (accession 0001493152-18-002134), 47 days after the 2017-12-29 filing … | view ↗ |
| Late Filing | low | NT 10-K · Dec 15, 2025 | Form NT 10-K filed 2025-12-15 (accession 0001628280-25-057004) notified the SEC of delayed 10-K filing for period ending 2025-12-15. Substantive filing landed 2026-03-19 (accession 0001628280-26-019804), 4 days after the 2026-03-15 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Feb 10, 2020 | Form NT 10-Q filed 2020-02-10 (accession 0001493152-20-001868) notified the SEC of delayed 10-Q filing for period ending 2019-12-31. Substantive filing landed 2020-02-27 (accession 0001493152-20-003070), 13 days after the 2020-02-14 filing … | view ↗ |
| Late Filing | low | NT 10-K · Dec 11, 2018 | Form NT 10-K filed 2018-12-11 (accession 0001493152-18-017339) notified the SEC of delayed 10-K filing for period ending 2018-09-30. Substantive filing landed 2018-12-31 (accession 0001493152-18-018121), 2 days after the 2018-12-29 filing d… | view ↗ |
Related on RICK
Risk-flag rows are produced by DredgeCap's extractor pipeline (lib/extract-auditor-changes, extract-late-filings, etc.). Each row carries a verbatim
source_excerpt from the underlying SEC filing — no AI-generated language. Refresh runs daily. Not financial advice.